KNOWLEDGELEADER'S MOST POPULAR FRAUD AND ETHICS TOOLS
1.
Customer Fraud Risk Key Performance Indicators (KPIs)
This tool includes key performance indicators and questions an organization should use to evaluate its customer fraud process.
2.
Fraud Indicators: Financial Performance Key Performance Indicators (KPIs)
This tool contains fraud indicators and leading practices companies should consider when evaluating their financial performance.
3.
Records Management Risk Key Performance Indicators (KPIs)
This tool contains key performance indicators and questions an organization can use to evaluate its record management process.
4.
Complaint Reporting Process Questionnaire
This questionnaire focuses on issues that audit committees and management should consider as they collaborate to comply with the SEC's rules pursuant to Section 301 of the Sarbanes-Oxley Act of 2002.
5.
Electronic Discovery Questionnaire
This sample questionnaire can be used by the board and management to reduce the costs, burden and time associated with record retention or e-discovery.
6.
Entity-Level Controls Fraud Questionnaire
This sample includes a list of questions to consider while checking an organization's entity-level controls for fraud.
7.
Code of Conduct Questionnaire
This sample questionnaire can be used by the board and management to design and implement an effective code of ethics to lay a cornerstone for successful corporate governance.
8.
Business Ethics Questionnaire
This questionnaire is designed to help risk management professionals determine how well their companies are addressing business ethics risks and programs.
9.
Corruption Risk Management Questionnaire
This questionnaire can be used to assess an organization's management of corruption risk, the Foreign Corrupt Practices Act (FCPA) and other key considerations.
10.
Ethics Program Guide
This tool contains two sample guides that can be used by auditors to implement an effective ethics program.
11.
Common Fraud Scenarios Guide
This tool contains three guides that can be used by auditors to identify and mitigate common fraud schemes.
12.
Fraud Detection Guide
In this tool, we provide three guides that outline standards and steps organizations can use for effective fraud detection.
13.
Ethics and Compliance Hotline Leading Practices
This tool features several leading practices for managing and understanding an organization's ethics and compliance hotline.
14.
Predictive Analytics Guide
This document can be used as a guide for understanding and reviewing the essential elements of an organization's predictive analytics process.
15.
Internet Usage Policy
This tool includes four sample policies that define a company’s guidelines and procedures related to employee use of the internet.
16.
Employee Termination Policy
This sample policy contains guidelines and procedures organizations should follow during the employee termination process.
17.
Code of Business Conduct Policy
This tool contains three sample policies that outline procedures an organization should use for following proper business conduct and ethical guidelines.
18.
Foreign Corrupt Practices Act Policy
This sample policy establishes guidelines organizations should follow with respect to the Foreign Corrupt Practices Act of 1977.
19.
Record Disposal and Retention Policy
This tool contains two sample policies that establish standards and procedures for document disposal and storage periods.
CCH TAX AND ACCOUNTING - ACCOUNTING RESEARCH MANAGER UPDATES
Weekly Summary of Accounting, SEC and Auditing Developments
- Climate Change – SEC Proposes Rules to Enhance and Standardize Climate-Related Disclosures
- Audit Confirmation Process – PCAOB Releases New Spotlight on the Use of a Service Provider in the Confirmation Process
- Business Combinations – SEC Staff Updates Compliance and Disclosure Interpretations
- Financial Instruments – FASB Discusses Effective Interest Rate for Using Discounted Cash Flow Model for Expected Credit Losses
- Credit Rating Agencies – SEC Proposes Amendments to Remove References to Credit Ratings from Regulation M
- EDGAR Filer Manual – SEC Publishes New Edition of EDGAR Filer Manual
- Dealerships – 2021-2022 Edition of Knowledge-Based Audism, Preparations, Compilations, and Reviews of Dealerships Published
- Group Audits – AICPA’s ASB Issues Proposal on Group Audits
- Ethics – AICPA’s PEEC Publishes New Interpretation on Assisting Attest Clients with Implementing Accounting Standards
- Unpaid Fees – AICPA’s PEEC Publishes New Edition of Interpretation on Unpaid Fees
- Noncompliance with Laws and Regulations – AICPA’s PEEC Publishes New Interpretation on Attest Clients Noncompliance with Laws and Regulations
- Loans – AICPA’s PEEC Publishes New Edition of Interpretation on Loans, Acquisitions and Other Transactions
TOP 5 PAGES ON KNOWLEDGELEADER
These were the most popular items on KnowledgeLeader last week:
- Entity-Level Controls Assessment Report
- Control Self-Assessment Questionnaire
- Internal Audit Department Key Performance Indicators (KPIs)
- Enterprise Risk Management Questionnaire
- Accounts Payable RCM